How to Become a Stockbroker in Oklahoma

(A) – Education

A college degree in either Finance, Accounting, Business or Economics is the first step to pursuing a stockbroker career as employment is competitive in this field. During college, joining finance groups, attending seminars, conferences and interning would all be beneficial as well.

(B) – Licensing

To operate as a stock broker in the state of Oklahoma, a broker-dealer firm that’s a member of the Financial Industry Regulatory Authority (FINRA) must sponsor you. The Series 7 Exam which comes with a $305 fee cannot be taken without a sponsor (FINRA member firm, self-regulatory organization or an exchange).

The Series 63 or 66 is also necessary in this state but can be taken without a sponsorship. The fees are $125 and $155 respectively.

(C) – Registration

Further, it is also a requirement to register with the Oklahoma Securities Department. Complete Form U-4 and submit through WebCRD (Central Registration Depository) and a $50 fee will be deducted from a Flex Funding Account.

If not apart of a FINRA – member firm, you should file directly with the Department and make a $50 fee payable to the “Oklahoma Securities Department“. Once registered, you’ll be able to solicit for clients and sell securities.

Average Salary for Other Finance Careers in Oklahoma

Budget Analysts – $61,560

Personal Financial Advisor – $57,580

Financial Analysts – $59,970

Credit Analysts – $52,890

Employment Opportunities in Oklahoma:

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